Garrett J. Cox
CETERA INVESTMENT ADVISERS LLC | Financial Advisor
SAN ANTONIO, TX 78230
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CRD#: 6962128
Professional summary
Garrett James Cox, who also goes by Garrett Cox, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Antonio, Texas and CETERA INVESTMENT SERVICES LLC located in San Antonio, Texas.
Garrett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Garrett has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Garrett Cox
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*117797
For profit or not for profit: For-Profit Organization
Name of outside business organization: The Pond
Investment related: N
Address of business:
Austn, Texas 78758
Nature of business: Other,I'd be helping coach a team at a local ice rink.
Position, title, association: Part-Time,
Start date of relationship: 10/6/2018
Number of hours devoted: 8 hour(s) Monthly
Number of hours devoted during trading hours: 0
Duties: I'll be helping coach a young children's hockey team. The age group will be around 12 years old.
CRS (Client Relationship Summary) - RIA
Click below to view Garrett James Cox's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 14, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8000 I.h. 10 West Suite 600, San Antonio, TX 78230RIA
CRD#: 105644
SAN ANTONIO, TX
Current
July 14, 2023 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 8000 I.h. 10 West Suite 600, San Antonio, TX 78230BD
CRD#: 15340
San Antonio, TX
Past
September 24, 2018 - May 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
August 16, 2018 - May 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(11/15/2024)
RR
Texas(7/14/2023)
IAR
Texas(7/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Company Information
CETERA INVESTMENT ADVISERS LLC
Financial AdvisorCRD#: 105644San Antonio, TX 78230TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
